All investment adviser firms · Page 109
Alphabetical firm directory from the selected SEC monthly adviser snapshots.
17,094 firms · Source months shown: July 2026 and August 2026
- NOVAQUEST CAPITAL MANAGEMENT, L.L.C.CRD 160359$1,483,025,000.00Regulatory AUM · August 2026
- NOVARE CAPITAL MANAGEMENTCRD 117949 · CHARLOTTE, NC$1,917,148,677.00Regulatory AUM · August 2026
- NOVAWAVE CAPITAL LLCCRD 333205 · MENLO PARK, CA$90,000,000.00Regulatory AUM · August 2026
- NOVEM GROUPCRD 158964 · ROCHESTER, NY$1,717,643,936.00Regulatory AUM · August 2026
- NOVUS ADVISORS, LLCCRD 157908 · GREENVILLE, SC$91,267,843.00Regulatory AUM · August 2026
- NOW ASSET MANAGEMENT LLCCRD 341388 · PURCHASE, NYNot availableRegulatory AUM · August 2026
- NPA ASSET MANAGEMENT, LLCCRD 131534 · FAIR LAWN, NJ$1,064,773,417.00Regulatory AUM · August 2026
- NPM CONSULTING, LLCCRD 163237$116,069,734.00Regulatory AUM · August 2026
- NPPG PLAN PROFESSIONALS, LLCCRD 324646 · SHREWSBURY, NJ$6,274,553,085.00Regulatory AUM · August 2026
- NPW INC.CRD 310288$536,000.00Regulatory AUM · August 2026
- NRI WEALTH MANAGEMENT, LLCCRD 162234 · SANTA CLARA, CA$309,842,768.00Regulatory AUM · August 2026
- NS MANAGEMENT LTDCRD 297781$850,270,592.00Regulatory AUM · August 2026
- NS PARTNERS LTDCRD 110625$5,864,239,622.00Regulatory AUM · August 2026
- NTV ASSET MANAGEMENT, LLCCRD 111062 · CHARLESTON, WV$1,159,200,099.00Regulatory AUM · August 2026
- NUANCE INVESTMENTS, LLCCRD 148534 · KANSAS CITY, MO$984,290,871.00Regulatory AUM · August 2026
- NUCLEO CAPITAL LTDA.CRD 287719$279,537,356.00Regulatory AUM · August 2026
- NUCLO WEALTH LLCCRD 317730 · HOUSTON, TX$293,720,804.00Regulatory AUM · August 2026
- NUMA AMERICAS CORP.CRD 164602 · MIAMI, FL$192,707,560.00Regulatory AUM · August 2026
- NUMERAI GP LLCCRD 282851 · SAN FRANCISCO, CA$1,903,690,264.00Regulatory AUM · August 2026
- NUMERIC INVESTORS LLCCRD 131684 · BOSTON, MA$94,400,959,000.00Regulatory AUM · August 2026
- NUT TREE CAPITAL MANAGEMENT, LPCRD 282219 · NEW YORK, NY$5,117,744,000.00Regulatory AUM · August 2026
- NUTS2INVEST.COM, LLCCRD 164438Not availableRegulatory AUM · August 2026
- NUTTER INVESTMENT ADVISORS LIMITED PARTNERSHIPCRD 105461 · BOSTON, MA$2,963,283,082.00Regulatory AUM · August 2026
- NUVEEN ALTERNATIVES ADVISORS LLCCRD 160255 · NEW YORK, NY$142,021,005,985.00Regulatory AUM · August 2026
- NUVEEN ASSET MANAGEMENT, LLCCRD 155584 · CHICAGO, IL$280,484,645,970.00Regulatory AUM · August 2026
- NUVEEN FUND ADVISORS, LLCCRD 104626 · CHICAGO, IL$186,250,952,275.00Regulatory AUM · August 2026
- NUVERSE ADVISORS LLCCRD 119840 · HALLANDALE BEACH, FL$1,183,938,008.00Regulatory AUM · August 2026
- NVERSES CAPITAL, LLCCRD 323291 · WELLINGTON, FL$184,082,000.00Regulatory AUM · August 2026
- NVEST FINANCIAL, LLCCRD 128868 · PORTSMOUTH, NH$688,288,833.00Regulatory AUM · August 2026
- NVEST WEALTH STRATEGIES, INC.CRD 139758 · POWELL, OH$236,690,161.00Regulatory AUM · August 2026
- NVWM LLCCRD 152301 · YARDLEY, PA$713,465,274.00Regulatory AUM · August 2026
- NW1 PARTNERS UK LLPCRD 289003$931,743,932.00Regulatory AUM · August 2026
- NW1 PARTNERS US LLCCRD 289852$475,084,533.00Regulatory AUM · August 2026
- NWAM, LLCCRD 147923 · MERCER ISLAND, WA$4,131,681,404.00Regulatory AUM · August 2026
- NWF ADVISORY SERVICES INCCRD 110410 · LOS ANGELES, CA$6,426,161,220.00Regulatory AUM · August 2026
- NWI MANAGEMENT LPCRD 158366 · NEW YORK, NY$3,953,698,177.00Regulatory AUM · August 2026
- NWK GROUP, INC.CRD 124186 · SAN FRANCISCO, CA$485,294,706.00Regulatory AUM · August 2026
- NWM ADVISORS, LLCCRD 283714 · SAN LUIS OBISPO, CA$329,057,624.00Regulatory AUM · August 2026
- NX1 CAPITAL LPCRD 339026 · NEW YORK, NY$2,864,971,203.00Regulatory AUM · August 2026
- NXT CAPITAL INVESTMENT ADVISERS, LLCCRD 160569 · CHICAGO, IL$6,647,874,837.00Regulatory AUM · August 2026
- NYE WEALTH MANAGEMENT LLCCRD 170415 · HUDSON, OH$107,700,000.00Regulatory AUM · August 2026
- NYL INVESTORS LLCCRD 169553 · NEW YORK, NY$329,199,595,529.00Regulatory AUM · August 2026
- NYMBUS CAPITAL INC.CRD 298214$751,451,667.00Regulatory AUM · August 2026
- NZS CAPITAL LLCCRD 305093 · DENVER, CO$4,058,262,900.00Regulatory AUM · August 2026
- O ASSET MANAGEMENT LLCCRD 336682 · FAIRPORT, NY$76,192,940.00Regulatory AUM · August 2026
- O.F.O. PARTNERS, LLCCRD 297424 · HINGHAM, MA$110,005,402.00Regulatory AUM · August 2026
- O'BOYLE WEALTH MANAGEMENT, INC.CRD 292849 · BEVERLY HILLS, CA$443,932,960.00Regulatory AUM · August 2026
- O'BRIEN CAPITAL MANAGEMENT, INC.CRD 136100 · NYACK, NY$40,600,000.00Regulatory AUM · August 2026
- O'BRIEN INVESTMENT MANAGEMENT, LLCCRD 284057 · TORRANCE, CA$254,332,886.00Regulatory AUM · August 2026
- O'CONNELL INVESTMENT AND INSURANCE SERVICES, LLCCRD 290254 · EUGENE, OR$208,438,586.00Regulatory AUM · August 2026
- O'CONNOR ALTERNATIVE INVESTMENTS, LLCCRD 336332 · NEW YORK, NY$16,368,611,483.00Regulatory AUM · August 2026
- O'CONNOR FINANCIAL GROUP LLCCRD 168636 · QUINCY, IL$275,258,000.00Regulatory AUM · August 2026
- O'CONNOR WEALTH MANAGEMENT, INC.CRD 152316 · MONROVIA, CA$179,112,814.00Regulatory AUM · August 2026
- O'DOMHNAILL ENTERPRISES, INC.CRD 323384 · CODY, WY$123,253,013.00Regulatory AUM · August 2026
- O'DONNELL FINANCIAL SERVICES, LLCCRD 172520 · SAN RAFAEL, CA$427,050,449.00Regulatory AUM · August 2026
- O'HAGAN GROUP, INC.CRD 315389 · BETHLEHEM, PA$1,249,663,330.00Regulatory AUM · August 2026
- O'KEEFE STEVENS ADVISORY, INC.CRD 286338$585,621,482.00Regulatory AUM · August 2026
- O'NEIL GLOBAL ADVISORS, INC.CRD 308150 · LOS ANGELES, CA$401,920,000.00Regulatory AUM · August 2026
- O'ROURKE & COMPANY, INCORPORATEDCRD 132481 · BOSTON, MA$555,070,677.00Regulatory AUM · August 2026
- O'SHAUGHNESSY ASSET MANAGEMENT, LLCCRD 144594 · STAMFORD, CT$19,782,138,121.00Regulatory AUM · August 2026
- O15 CAPITAL PARTNERS, LLCCRD 328464 · ATLANTA, GA$310,316,999.00Regulatory AUM · August 2026
- O2 INVESTMENT PARTNERS, L.P.CRD 291435 · BLOOMFIELD HILLS, MI$1,807,300,000.00Regulatory AUM · August 2026
- OAC CAPITAL ADVISORS LLCCRD 317559$211,993,114.00Regulatory AUM · August 2026
- OAK ADVISORS, LLCCRD 137192 · BLUFFTON, SC$284,739,465.00Regulatory AUM · August 2026
- OAK ASSET MANAGEMENT, LLCCRD 287856 · WESTLAKE VILLAGE, CA$413,780,114.00Regulatory AUM · August 2026
- OAK ASSOCIATES LTDCRD 108874 · AKRON, OH$1,776,200,000.00Regulatory AUM · August 2026
- OAK BARREL WEALTH ADVISORY LLCCRD 333693 · RESTON, VA$353,748,214.00Regulatory AUM · August 2026
- OAK CITY CONSULTING, LLCCRD 162220 · WAKE FOREST, NC$1,431,568,150.00Regulatory AUM · August 2026
- OAK CREEK PRIVATE WEALTH MANAGEMENT LLCCRD 306851 · TULSA, OK$4,258,867.00Regulatory AUM · August 2026
- OAK CREST ADVISORY, LLCCRD 304255 · ROCHESTER, NY$90,170,828.00Regulatory AUM · August 2026
- OAK FAMILY ADVISORS, LLCCRD 141332 · CHICAGO, IL$621,000,000.00Regulatory AUM · August 2026
- OAK FINANCIAL GROUP INCCRD 106293$177,156,936.00Regulatory AUM · August 2026
- OAK GROVE CAPITAL, LLCCRD 165465$871,011,954.00Regulatory AUM · August 2026
- OAK HARBOR CAPITAL, LLCCRD 169089 · LAS VEGAS, NV$442,118,576.00Regulatory AUM · August 2026
- OAK HARVEST INVESTMENT SERVICES, LLCCRD 173293 · HOUSTON, TX$1,136,761,287.00Regulatory AUM · August 2026
- OAK HILL ADVISORS, L.P.CRD 125352 · NEW YORK, NY$100,716,569,239.00Regulatory AUM · August 2026
- OAK HILL CAPITAL MANAGEMENT, LLCCRD 136656 · NEW YORK, NY$13,928,883,994.00Regulatory AUM · August 2026
- OAK RIDGE INVESTMENTS, LLCCRD 107066 · CHICAGO, IL$1,704,405,756.00Regulatory AUM · August 2026
- OAK ROOT LLCCRD 246788$920,000,000.00Regulatory AUM · August 2026
- OAK STREET ADVISORS INCCRD 139400 · MYRTLE BEACH, SC$126,212,626.00Regulatory AUM · August 2026
- OAK STREET INVESTMENT ADVISORS, LLCCRD 288019 · GREENWOOD VILLAGE, CO$125,451,478.00Regulatory AUM · August 2026
- OAK THISTLE LLCCRD 299086$1,554,000,000.00Regulatory AUM · August 2026
- OAK TREE ADVISORY SERVICES INCCRD 105883$25,000,000.00Regulatory AUM · August 2026
- OAK WEALTH ADVISORS LLCCRD 148832 · NORTHBROOK, IL$373,663,197.00Regulatory AUM · August 2026
- OAKCLIFF PARTNERS LLCCRD 162325 · NEW YORK, NY$356,306,494.00Regulatory AUM · August 2026
- OAKHURST ADVISORS, LLCCRD 282057 · LOS ANGELES, CA$1,249,445,239.00Regulatory AUM · August 2026
- OAKHURST CAPITAL ADVISORS, LLCCRD 311802 · WASHINGTON, DC$5,740,796.00Regulatory AUM · July 2026
- OAKLAWN CAPITAL MANAGEMENT LLCCRD 339373$153,000,000.00Regulatory AUM · August 2026
- OAKMONT ADVISORY GROUP, LLCCRD 158890 · ALBUQUERQUE, NM$149,506,723.00Regulatory AUM · August 2026
- OAKMONT CAPITAL MANAGEMENT, LLCCRD 128939 · OAKMONT, PA$3,086,575,180.00Regulatory AUM · August 2026
- OAKMONT CORPORATIONCRD 112337 · LOS ANGELES, CA$2,217,465,327.00Regulatory AUM · August 2026
- OAKMONT INVESTMENT ADVISORS, INC.CRD 111095 · PITTSBURGH, PA$192,224,520.00Regulatory AUM · August 2026
- OAKMONT WEALTH ADVISORY, LLCCRD 299021 · COLUMBIA, MD$124,223,423.00Regulatory AUM · August 2026
- OAKRIDGE MANAGEMENT GROUP LLCCRD 306284 · STAMFORD, CT$1,367,118,950.00Regulatory AUM · August 2026
- OAKSTREET WEALTH MANAGEMENT, INC.CRD 288723 · MAGNOLIA, TX$482,000,000.00Regulatory AUM · August 2026
- OAKTOP CAPITAL MANAGEMENT II, L.P.CRD 161896 · CHATHAM, NJ$1,234,916,043.00Regulatory AUM · August 2026
- OAKTREE ADVISORS LLCCRD 168271 · COOPERSBURG, PA$282,764,728.00Regulatory AUM · August 2026
- OAKTREE CAPITAL MANAGEMENT, L.P.CRD 106793 · LOS ANGELES, CA$183,286,850,212.00Regulatory AUM · August 2026
- OAKTREE FUND ADVISORS, LLCCRD 290193 · LOS ANGELES, CA$14,102,172,484.00Regulatory AUM · August 2026
- OAKTRUST WEALTH ADVISORS, LLCCRD 170827$285,034,723.00Regulatory AUM · August 2026